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myGwork - LGBTQ+ Business Community · 3 days ago
Principal Analyst, Regulatory Services Management
Rockville, MD
Full-time
Onsite
Senior Level
$106K/yr - $200K/yr
8+ years exp
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Responsibilities
Executing all aspects of the Change Control/Request ("CR") process, including coordination of internal and external meetings, responses and reporting.
Executing all aspects of the RSA Exchange Regulatory Oversight Committee (ROC) reporting process, including coordination of internal and external meetings to gather content and feedback.
Participating in developing alternatives, enhancements, and solutions to maximize the Change Control/CR and RSA Exchange ROC Reporting process effectiveness.
Executing, streamlining, and automating the RSA Compliance Survey to ensure compliance with RSA responsibilities.
Assisting in analyzing RSM's List of Reports to improve the consistency and efficiency of RSA Exchange reports.
Supporting ELAs with maintenance of rules matrices, regular reviews, and updating of Communication Protocols (CPs).
Assisting in drafting/reviewing and updating relevant RSM policies and procedures.
Assisting in special projects as requested by senior management.
Identifying and escalating RSM related issues to Senior Director with proposed recommendations.
Providing strategic advice on reporting and technological issues, and problems raised by the RSM team and other customers.
Leading collaboration with Regulatory Operations teams regarding changes and updates to the RSM protocols.
Maintaining RSA Gateway, including tracking deliverables and managing regulatory risk issues.
Qualification
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Required
A Bachelor's degree and a minimum of eight (8) years' experience; or an equivalent combination of education and experience.
Experience in the assessment and implementation of business processes, process improvement and strategic initiatives is required.
Experience with securities market structure issues, associated data, regulations and/or market surveillance business processes is strongly preferred.
Juris Doctorate is preferred.
Strong verbal and written communication skills are essential.
Benefits
Health insurance
Dental insurance
Vision insurance
Basic life insurance
Accidental death and dismemberment insurance
Supplemental life insurance
Spouse/domestic partner and dependent life insurance
Spouse/domestic partner and dependent accidental death and dismemberment insurance
Short-term disability insurance
Long-term disability insurance
Long-term care insurance
Business travel accident insurance
Disability insurance
Legal insurance
401(k) plan with company match
Additional FINRA-funded retirement contribution
Tuition reimbursement
15 days of paid time off
5 personal days
9 sick days
2 volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave
Childbirth and parental leave
Nine paid holidays
Company
myGwork - LGBTQ+ Business Community
myGwork is the largest global platform for the LGBTQ+ business community.
11-50 employees
Funding
Current Stage
Early StageTotal Funding
$4.77MKey Investors
24 HaymarketInnovate UK
2023-08-17Series Unknown· $1.66M
2023-08-17Grant· Undisclosed
2021-12-07Series A· $2.12M
Leadership Team
Adrien Gaubert
Co-Founder & CMO
Recent News
2024-04-10
Company data provided by crunchbase
